BUNDLE - SIE EXAMS

FINRA SIE Exam Questions & Answers 2023/2024 If interest Rates fall the issuer will most likely call which bonds first? - ANSWER-High Dividend Rate preferred issues trading at a premium What are some actions by a corporation will affect an individuals common shareholder's equity - ANSWER-Conv...

SIE Practice Exam Questions & Answers 2023/2024 Which corporate voting procedures entitles a shareholder to one vote per share, and votes must be divided evenly among the candidates being voted on? - ANSWER-Statutory voting What market refers to the trading of exchange-listed securities in the...

SIE practice exam questions & answers 2023/2024 A customer writes an MMM January 70 put at 6. The maximum potential gain on this position is - ANSWER-600 Your customer is long 1 October 75 put at 2. The customer's maximum gain potential is - ANSWER-7300 Large time deposits of more than $10...

SIE exam caril questions & answers 2023/2024 What type of risk is unique to a specific industry, business enterprise, or investment type? - ANSWER-Nonsystematic risk Under which of the following circumstances is an investor in a position to acquire stock? - ANSWER-Buy a call, sell a call (The ...

SIE Exam Questions & Answers 2023/2024 purpose of securities industry - ANSWER-matching investors with money to issuers that need that money to finance issuer - ANSWER-legal entity that sells securities in order to finance its operations (business, governments) ie. us treasury, us gov agencies...

SIe practice exam questions & answers 2023/2024 The Securities & Exchange Commission (SEC) was created by Congress in A 1929 B 1933 C 1934 D 1940 - ANSWER-1934 The Act of '34 created the SEC. The term 'disclaimer' is most often associated with A The fact that no agent ca...

SIE Exam Chapters 1-5 Questions & Answers 2023/2024 Bid - ANSWER-Represents a clients selling price - This is the price at which the MM will buy dealer to dealer markets - ANSWER-NASDAQ -Non-physical; phone and computer network - Negotiated market - unlimited number of registered "market...

SIE Exam 2021 What are statutory voting rights? - ANSWER-Allows the shareholder to vote one time per share for each seat on the board. If the investor owns 10 shares, she can use 10 shares to vote for position #1 and 10 shares to vote for position #2. What are cumulative voting rights? - AN...

SIE Exam Questions & Answers 2023/2024 Do common stock holders have to right to inspect all books of a company? - ANSWER-No, only certain items suchs as the income statement and balance sheet Order of asset distribution - ANSWER-Taxes Secured debt Unsecured debt Preferred stock holders Com...

SIE Exam Unit 1 Questions & Answers 2023/2024 The securities industry's primary regulatory body and created under what act? - ANSWER-SEC, Securities Exchange Act of 1934 Function under the SEC's oversight and is accountable to the Commission for enforcing federal securities laws, as well as ...

FINRA Practice SIE Exam Questions & Answers 2023/2024 The redemption value of an open-end investment company's shares is based on the: previous offering price previous closing NAV NAV computed after the order is received offering price computed after the order is received - ANSWER-NAV comput...

SIE Exam Questions & Answers 2023/2024 Issuers are required to provide to FINRA notice of stock splits and stock dividends (when) - ANSWER-at least 10 days prior to the record date Credit items in computation of balance of trade - ANSWER-exports, foreign spending in the domestic economy and fo...

SIE Exam Questions & Answers 2023/2024 SIE Purpose and Mission - ANSWER-A U.S. government oversight agency responsible for regulating the securities markets and protecting investors. The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate c...

SIE Exam 2023 What is cost basis? A The original purchase price plus any transaction costs B The transaction charges affiliated with the purchase of any security C The net after-tax purchase price per share of common stock D The amount of any gain or loss if a different transaction had ...